Full text of ULTRAVIOLET SECURITIES, LLC's X-17A-5 filed 2021-08-26 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ FINANCIAL STATEMENTS REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM AND REPORT PURSUANT TO RULE 17a-5(d) > JUNE 30, 2021 JULY 1, 2020 TO {1}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | | OMB APPROVAL | | |--------------------------|--------------|---------------------------| | OMB Number: | | 3235-0123 | | Expires: | | October 31, 2023 | | Estimated average burden | | | | | | hours per response 12.00 | | | SEC FILE NUMBER | |---------|-----------------| | 8-70151 | | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING 07/01/2020 | MM/DD/Y Y | | AND ENDING 06/30/2021<br>MM/DD/Y Y | | |-------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|------------------------------------|--| | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: Ultraviolet Securities, LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | | FIRM I.D. NO. | | | 151 Bodman Place, Suite 301 | | | | | | | (No. and Street) | | | | | Red Bank | NJ | | 07701 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Gary Peterson (732)450-7462 | | | | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIEICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Untracht Early LLC | (Name - if individual, state last, first, middle name) | | | | | 325 Columbia Turnpike, Suite 202 Florham Park | | NJ | 07932 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant<br>Public Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) Potential persons who are to respond to th…Read the full text as markdown